Senior AML & Regulatory Compliance Lead (Hybrid)

Transamerica Corporation; Philadelphia (Philadelphia County); Hybrid; USD 95,000 - 105,000; Full time

Benefits offered by this job

Pension Plan

401k Match

Tuition Reimbursement

Medical Insurance

Paid Time Off

Ten paid holidays

Job summary

Transamerica is seeking a senior regulatory compliance professional to lead AML activities supporting broker‑dealer, registered investment adviser, and affiliated insurance channels. The role drives regulatory interpretation, risk mitigation, and program enhancements, with hybrid office expectations in a dynamic financial services environment.

The position requires extensive AML expertise, FINRA knowledge, and the ability to influence stakeholders across securities, insurance, and investment

Qualifications

• Bachelor’s degree in business, legal studies, risk management, compliance or related field.
• 7+ years of regulatory compliance, securities, financial services, risk management, internal audit, testing, monitoring, or other relevant experience
• 4+ years of AML, financial‑crime, broker‑dealer, registered investment adviser, insurance, retirement, or investment compliance functions
• FINRA Series 7 and 24 or 6 and 26 (dependent on broker‑dealer activities); or obtain within 6 months of job entry date
• Extensive knowledge of AML laws, regulations, regulatory guidance, transaction monitoring practices, suspicious activity identification and escalation, related compliance controls
• Experience leading complex compliance reviews, regulatory responses, issue remediation, program enhancements, or cross‑functional initiatives
• Experience leading AML supervisory controls, testing, monitoring, or issue remediation
• Advanced communication and influencing skills, including the ability to advise stakeholders, communicate complex risks and recommendations, and support informed decision‑making
• Ability to work with significant independence and judgment while determining approach for complex work
• Proficiency using Microsoft Office tools and advanced ability to leverage compliance, workflow, surveillance, case management, reporting, or document management systems to support program effectiveness

Responsibilities

• Lead complex compliance monitoring, testing, reviews, risk‑based assessments, and control evaluations across assigned securities or regulated compliance functions.
• Evaluate complex business processes, policies, procedures, communications, transactions, complaints, disclosures, or other assigned activity to identify significant risks, trends, and control gaps.
• Guide interpretation of applicable laws, regulations, regulatory guidance, firm policies, and procedures and advise stakeholders on practical application.
• Lead complex AML reviews, including transaction monitoring, exception reporting, investigations, escalations, and assessment of trends, potential suspicious activity, compliance risks, and related program or control enhancements.
• Lead or coordinate responses to regulatory examinations, regulatory inquiries, internal reviews, audits, investigations, or information requests.
• Evaluate findings, root causes, corrective action plans, recurring issues, and remediation strategies to support sustainable control improvements.
• Serve as an AML subject matter resource to business partners, compliance stakeholders, and management on complex AML requirements, financial‑crime risks, and practical application.
• Influence AML remediation strategy, control design, policy updates, training, tools, procedures, and implementation decisions to strengthen compliance outcomes.
• Lead or represent Compliance on complex projects, program enhancements, regulatory change initiatives, business transformation efforts, or enterprise initiatives.
• Provide informal leadership, coaching, training, technical guidance, quality review support, and knowledge sharing to team members and business partners.

Skills

Advanced communication

Influencing skills

Independent work

Regulatory risk awareness

Securities knowledge

Education

Bachelor’s degree in business, legal studies, risk management, or compliance

Tools

Microsoft Office

Job description

Transamerica is seeking a senior regulatory compliance professional to lead AML activities supporting broker‑dealer, registered investment adviser, and affiliated insurance channels. The role drives regulatory interpretation, risk mitigation, and program enhancements, with hybrid office expectations in a dynamic financial services environment.

The position requires extensive AML expertise, FINRA knowledge, and the ability to influence stakeholders across securities, insurance, and investment